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Securities / Derivatives
ESG / Sustainability
CFTC Calls on Public to Report Carbon Market Misconduct
By Ranamita Chakraborty | 23/06/2023
The CFTC says whistleblowers can receive awards for reporting fraud, manipulation, “ghost” carbon credits, and double counting in carbon markets.
Fintech / Regtech
ASIC Chair Cautions Against Hasty Implementation of AI Tools
By Editors | 22/06/2023
ASIC plans to extend its automated order processing rules to futures markets and update its electronic trading guidance to reflect developments with AI.
Enforcement
SEBI Settles With NSE Over 2021 Trading Glitch
By Editors | 22/06/2023
NSE and NSE Clearing have to pay a combined $8.9mn to end proceedings over a 2021 glitch that cause a complete trading halt for over three hours.
Market Infrastructure
CSRC Issues Guidelines to Improve Bond Registration System
By Editors | 22/06/2023
The guidelines streamline the debt issuance process, enhance information disclosure requirements, and tighten the responsibilities of issuers and intermediaries.
Enforcement
South Korea Ordered to Pay Elliott Over 2015 Dispute
By Editors | 22/06/2023
The amount represents about 7 percent of what Elliott sought from a 2018 lawsuit it filed against the South Korean government.
Securities / Derivatives
ASIC Proposes to Remake Derivative Trade Repository Rules
By Editors | 22/06/2023
ASIC proposes to remake the 2013 rules in substantially the same form with two minor updates ahead of sunset.
Securities / Derivatives
Korea Adopts Two Prong Approach to Boost Tech Listings
By Sanday Chongo Kabange | 21/06/2023
Regulators will run a month-long roadshow promoting stock listings by tech firms, and work to enact further facilitative rule changes.
Enforcement
SEBI Punishes 135 Entities Over Stock Manipulation Scheme
By Sanday Chongo Kabange | 21/06/2023
SEBI fined 135 entities and barred them from accessing the securities market over a stock manipulation scheme.
Enforcement
US Jury Finds Ex-Goldman Sachs VP Guilty of Insider Trading
By Mark Johnston | 21/06/2023
Brijesh Goel tipped his friend about six potential mergers that Goldman Sachs was considering funding.
Enforcement
Korea FTC Investigates Securities Firms for Price Fixing
By Sanday Chongo Kabange | 21/06/2023
The FTC sent investigators to the offices of Samsung Securities, Meritz Securities, Kiwoom Securities and KB Securities and seized documents.
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